SEC Form 4 · accession 0001010541-17-000005
HUDSON TECHNOLOGIES INC /NY · HDSN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin J Zugibe
Officer — Chairman, CEO · Director
Period of report
Aug 18, 2017
Accepted (ET)
Aug 22, 2017 · 5:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000925528
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 29, 2017 | G | 4,000 | $0.00 | D | 4,480,693 | D | |
| Common StockF2 | Aug 18, 2017 | M | 251,855 | $3.23 | A | 4,480,693 | D | |
| Common StockF3 | Aug 18, 2017 | M | 28,145 | $3.55 | A | 4,480,693 | D | |
| Common StockF4,F5,F3 | Aug 18, 2017 | F | 176,590 | $8.56 | D | 4,304,103 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy) | $3.55 | Aug 18, 2017 | M | 28,145 | D | Oct 1, 2014 | Oct 1, 2017 | Common Stock | 28,145 | 0 | D |
| Stock Option | $3.23 | Aug 18, 2017 | M | 251,855 | D | Oct 1, 2014 | Oct 1, 2017 | Common Stock | 251,855 | 0 | D |
Explanation of responses
- F1Includes 1,103,000 shares which may be purchased pursuant to stock options
- F2Includes 851,145 shares which may be purchased pursuant to stock options.
- F3Includes 823,000 shares which may be purchased pursuant to stock options.
- F4No shares sold on the open market. Pursuant to provisions of the Company's Stock Incentive Plan, shares from option exercises were applied by the Company to cover the purchase price and taxes due upon exercise of options.
- F5Closing Stock Price on August 18, 2017